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Final Notice 2022: Mark Twizell (trading as Rotary Car Sales) [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation. -
Final Notice 2022: Bolton Premier Motors (trading as Ascot Motor Cars) [pdf]
This Final Notice (Bolton Premier Motors (trading as Ascot Motor Cars)) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed -
Financial promotions data 2021
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for January 2021 to 31 December 2021. -
Financial promotions quarterly data 2021 Q4
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 2021 Q4. -
Open Enforcement Investigations numbers and types of cases - February 2022
The FCA provides data on open enforcement investigations. -
Dual regulation of claims management firms - February 2022
The FCA answers multiple questions regarding dual regulation of Claims Management Activities by both the Solicitors Regulation Authority (SRA) and the Financial Conduct Authority (FCA). -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
Warning Notice Statement 22/1 [pdf]
Warning Notice Statement 22/1. -
FCA regulated Crypto companies - February 2022
FCA provides information on crypto firms. -
MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021 - February 2022
The FCA provides a breakdown of all MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021.